Scott E. Davis

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Rochester, MN 55901

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CRD#: 4741405

Professional summary

Scott Erik Davis is a registered financial advisor currently at LASALLE ST. INVESTMENT ADVISORS, L.L.C. located in Rochester, Minnesota and LASALLE ST SECURITIES, L.L.C. located in Rochester, Minnesota.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Scott has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

FIXED INSURANCE; BULLPEN TRADING, LLC-START DT 05/06/13, COMMODITY BRKR, APPROX $50K - $60K COMPENSATION, 40% OF THEIR WORK WEEK, NO LSS CUSTOMERS INVOLVED; BULLPEN WEALTH ADVISORS, LLC-START DT 05/06/13, WILL BE INVOLVED WITH LASALLE SECURITIES BUSINESS, WILL USE INCOME TO PAY OVERHEAD EXPENSES, I.E., STAFF, RENT, SALARY, ETC.,3 EMPLOYEES, WILL NOT INVOLVE LSS CUSTOMERS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Erik Davis's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 24, 2016 - Present

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Office #1: 975 34th Ave Nw Suite 210, Rochester, MN 55901

RIA

CRD#: 109701

Rochester, MN

Current

June 21, 2013 - Present

LASALLE ST SECURITIES, L.L.C.

Office #1: 975 34th Ave Suite 210, Rochester, MN 55901

CRD#: 7191

Rochester, MN

Past

May 29, 2009 - June 24, 2013

NORTHLAND SECURITIES, INC.

RIA

CRD#: 40258

ROCHESTER, MN

Past

May 29, 2009 - June 24, 2013

NORTHLAND SECURITIES, INC.

CRD#: 40258

ROCHESTER, MN

Past

January 1, 2008 - May 29, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ROCHESTER, MN

Past

January 1, 2008 - May 29, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ROCHESTER, MN

Past

April 6, 2004 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

ROCHESTER, MN

Past

March 12, 2004 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

ROCHESTER, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA

Registered Investment Advisory firm - (2/10/1989 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(6/21/2013)

California
(3/29/2017)

Colorado
(9/22/2017)

District of Columbia
(3/20/2020)

Florida
(6/21/2013)

Illinois
(6/21/2013)

Iowa
(6/21/2013)

IAR

Iowa
(1/3/2022)

Kansas
(10/24/2016)

Minnesota
(6/21/2013)

IAR

Minnesota
(8/24/2016)

Missouri
(12/9/2016)

Nebraska
(6/24/2025)

Tennessee
(6/21/2013)

Texas
(6/21/2013)

Virginia
(2/9/2016)

IAR

Virginia
(11/10/2022)

Wisconsin
(6/21/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/24/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/11/2004

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 1/7/2004

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 7/7/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA

Registered Investment Advisory firm - (2/10/1989 Approved)

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Contact information

Main Address

940 N. Industrial Dr., Elmhurst, IL 60126-1131

Mailing Address

Phone number

(630) 600-0500

Established

Firm type

Fiscal year end

# of Employees

144

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LSIA ADV PART 2A 01-02-18 (12/3/2025)

Regulatory assets under management

Total Number of Accounts	11,941
AUM (Assets Under Management)	$ 4,346,509,887

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Scott E. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Erik Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

LASALLE ST SECURITIES, L.L.C.

NORTHLAND SECURITIES, INC.

NORTHLAND SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/24/2004

SIE

Date: 10/1/2018

Series 7

Date: 3/11/2004

Series 3

Date: 1/7/2004

Series 24

Date: 7/7/2014

FINRA

Current Firm

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

TRUST BUT VERIFY

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